. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees
derivatives broker would be exempted from complying with clause 3 and clause 4 since such position has been transferred. Clause 8 All notifications of the SEC Office, directives and circulars issued under or
Commission, guidelines, orders and circulations issued by virtue of those prescribed Notifications in the Notification of Capital Market Supervisory Board thereof, shall be repealed. For the preliminary period
, and [ii] the Notifications of the Office of Securities and Exchange Commission, guidelines, orders and circulations issued by virtue of those prescribed Notifications in the Notification of the Capital
securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act
placing orders for several persons or through series of accounts in an undisclosed manner (omnibus account); (2) derivatives position limit of customer at any time; (3) derivatives position of customer that
Notifications of the Office of the Securities and Exchange Commission, orders and circulars issued under or prescribing guidelines in compliance with Notification of the Securities and Exchange Commission Re
purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
services related to any capital market product having high-risk or complex characteristics shall comply with the regulations under Chapter 6; (6) receiving trading orders of capital market products having
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries